Broker Dealer Jobs in USA with Visa Sponsorship
Broker dealer roles in the U.S. require FINRA licensing, regulatory knowledge, and typically a finance or economics degree, all of which support H-1B visa specialty occupation eligibility. Firms at major financial centers actively sponsor qualified international candidates, though Series exam requirements add a post-hire step. For detailed occupation requirements, see the O*NET profile.
Find Broker Dealer JobsOverview
Showing 5 of 10+ Broker Dealer jobs
See all Broker Dealer Jobs
Sign up for free to unlock all listings, filter by visa type, and get alerts for new Broker Dealer roles.
Get Access To All JobsLocation: Washington D.C., DC ; Westlake, TX
Requisition ID 2026-122675
Category Executive
Position type Regular
Pay range USD $250,000.00 - $400,000.00 / Year
Application deadline 2026-06-24
Your opportunity
Managing Director, Broker-Dealer Products and Services
Position Summary
The Managing Director, Broker-Dealer Products and Services Counsel serves as a senior legal advisor responsible for providing strategic counsel on derivatives, complex investment products, and trading-related activities conducted through the firm’s broker-dealer and Futures Commission Merchant (FCM). This role partners closely with senior business leaders and the Chief Counsel to interpret evolving regulatory requirements, mitigate risk, and enable compliant growth across trading and markets functions. The position operates at an enterprise level, influencing decision-making, regulatory engagement, and legal strategy for trading services, futures operations, and complex product initiatives. This role is critical to enabling the firm to navigate an increasingly complex regulatory landscape while supporting the growth of trading and derivatives businesses. By providing expert legal guidance, the Managing Director helps protect the firm from regulatory risk, supports market innovation, and ensures a strong foundation for client-facing trading capabilities.
Key Responsibilities
Legal Advisory & Regulatory Interpretation
- Provide expert legal guidance on trading activities involving derivatives, futures, options, complex equities, and ETFs.
- Interpret regulatory frameworks, including CFTC, NFA, SEC, FINRA, and exchange requirements, to business activities.
- Advise on complex or ambiguous regulatory matters and translate requirements into practical business guidance.
Risk Management & Governance
- Identify legal and regulatory risks and develop mitigation strategies to maintain a strong control environment.
- Oversee development and maintenance of client disclosures, agreements, and risk management programs, including futures-related requirements.
- Advise on trading practices, order handling, market data usage, and regulatory reporting obligations.
Strategic Business Partnership
- Serve as a trusted advisor to senior leadership, including Trading business leaders and Legal executives.
- Provide counsel on new products, business initiatives, and trading strategies to ensure compliance with regulatory expectations.
- Support Trading & Education and research-related functions with legal guidance and issue resolution.
Regulatory Engagement & Advocacy
- Monitor and analyze regulatory developments, rulemaking, and market structure changes impacting trading and derivatives activities.
- Engage with regulators, exchanges, and industry bodies to interpret requirements and advocate for the firm’s positions.
Leadership & Collaboration
- Lead and develop legal talent, including direct oversight of Director-level counsel.
- Collaborate across Legal, Risk, Compliance, and business teams to ensure consistent and effective legal support.
- Manage outside counsel on complex or high-impact matters.
Work Environment & Scope
- Enterprise-level role within Legal Services supporting Trading, Markets & Operations.
- Direct oversight of Director-level counsel (span of control: 1 direct report).
- Regular engagement with senior business leaders, regulators, and external stakeholders.
- High-impact role influencing regulatory risk posture and business strategy for trading and derivatives activities.
What you have
Basic Qualifications (Required Experience)
- Juris Doctor (JD) from an accredited law school and active bar membership in good standing.
- Significant legal experience in financial services, with deep expertise in:
- Commodities regulation (Commodity Exchange Act, CFTC, NFA rules)
- Broker-dealer regulation (Exchange Act, FINRA rules, margin and trading regulations)
- Securities laws related to offerings, disclosures, and investment products
- Demonstrated experience advising on derivatives, futures, and complex investment products within broker-dealer and/or FCM environments.
- Proven ability to interpret evolving regulatory requirements and provide clear, actionable guidance to senior stakeholders.
- Experience engaging with regulatory agencies and addressing complex regulatory issues.
- Strong leadership experience, including managing legal professionals and influencing senior business leaders.
Preferred Qualifications (Preferred Experience)
- Experience operating at an enterprise level within a large, regulated financial institution.
- Familiarity with trading operations, including execution and clearing frameworks, futures risk management programs, and market data regulations.
- Experience supporting complex product governance and new product development initiatives.
- Exposure to research and trading-adjacent business functions (e.g., investment research, trading enablement).
- Strong cross-functional collaboration skills with the ability to influence across Legal, Risk, Compliance, and business teams.
What’s in it for you
At Schwab, you’re empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration—so you can build the skills to make a lasting impact. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.
We offer a competitive benefits package that takes care of the whole you – both today and in the future:
- 401(k) with company match and Employee stock purchase plan
- Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
- Paid parental leave and family building benefits
- Tuition reimbursement
- Health, dental, and vision insurance
Eligible Schwabbies receive
- Medical, dental and vision benefits
- 401(k) and employee stock purchase plans
- Tuition reimbursement to keep developing your career
- Paid parental leave and adoption/family building benefits
- Sabbatical leave available after five years of employment
Location: Washington D.C., DC ; Westlake, TX
Requisition ID 2026-122675
Category Executive
Position type Regular
Pay range USD $250,000.00 - $400,000.00 / Year
Application deadline 2026-06-24
Your opportunity
Managing Director, Broker-Dealer Products and Services
Position Summary
The Managing Director, Broker-Dealer Products and Services Counsel serves as a senior legal advisor responsible for providing strategic counsel on derivatives, complex investment products, and trading-related activities conducted through the firm’s broker-dealer and Futures Commission Merchant (FCM). This role partners closely with senior business leaders and the Chief Counsel to interpret evolving regulatory requirements, mitigate risk, and enable compliant growth across trading and markets functions. The position operates at an enterprise level, influencing decision-making, regulatory engagement, and legal strategy for trading services, futures operations, and complex product initiatives. This role is critical to enabling the firm to navigate an increasingly complex regulatory landscape while supporting the growth of trading and derivatives businesses. By providing expert legal guidance, the Managing Director helps protect the firm from regulatory risk, supports market innovation, and ensures a strong foundation for client-facing trading capabilities.
Key Responsibilities
Legal Advisory & Regulatory Interpretation
- Provide expert legal guidance on trading activities involving derivatives, futures, options, complex equities, and ETFs.
- Interpret regulatory frameworks, including CFTC, NFA, SEC, FINRA, and exchange requirements, to business activities.
- Advise on complex or ambiguous regulatory matters and translate requirements into practical business guidance.
Risk Management & Governance
- Identify legal and regulatory risks and develop mitigation strategies to maintain a strong control environment.
- Oversee development and maintenance of client disclosures, agreements, and risk management programs, including futures-related requirements.
- Advise on trading practices, order handling, market data usage, and regulatory reporting obligations.
Strategic Business Partnership
- Serve as a trusted advisor to senior leadership, including Trading business leaders and Legal executives.
- Provide counsel on new products, business initiatives, and trading strategies to ensure compliance with regulatory expectations.
- Support Trading & Education and research-related functions with legal guidance and issue resolution.
Regulatory Engagement & Advocacy
- Monitor and analyze regulatory developments, rulemaking, and market structure changes impacting trading and derivatives activities.
- Engage with regulators, exchanges, and industry bodies to interpret requirements and advocate for the firm’s positions.
Leadership & Collaboration
- Lead and develop legal talent, including direct oversight of Director-level counsel.
- Collaborate across Legal, Risk, Compliance, and business teams to ensure consistent and effective legal support.
- Manage outside counsel on complex or high-impact matters.
Work Environment & Scope
- Enterprise-level role within Legal Services supporting Trading, Markets & Operations.
- Direct oversight of Director-level counsel (span of control: 1 direct report).
- Regular engagement with senior business leaders, regulators, and external stakeholders.
- High-impact role influencing regulatory risk posture and business strategy for trading and derivatives activities.
What you have
Basic Qualifications (Required Experience)
- Juris Doctor (JD) from an accredited law school and active bar membership in good standing.
- Significant legal experience in financial services, with deep expertise in:
- Commodities regulation (Commodity Exchange Act, CFTC, NFA rules)
- Broker-dealer regulation (Exchange Act, FINRA rules, margin and trading regulations)
- Securities laws related to offerings, disclosures, and investment products
- Demonstrated experience advising on derivatives, futures, and complex investment products within broker-dealer and/or FCM environments.
- Proven ability to interpret evolving regulatory requirements and provide clear, actionable guidance to senior stakeholders.
- Experience engaging with regulatory agencies and addressing complex regulatory issues.
- Strong leadership experience, including managing legal professionals and influencing senior business leaders.
Preferred Qualifications (Preferred Experience)
- Experience operating at an enterprise level within a large, regulated financial institution.
- Familiarity with trading operations, including execution and clearing frameworks, futures risk management programs, and market data regulations.
- Experience supporting complex product governance and new product development initiatives.
- Exposure to research and trading-adjacent business functions (e.g., investment research, trading enablement).
- Strong cross-functional collaboration skills with the ability to influence across Legal, Risk, Compliance, and business teams.
What’s in it for you
At Schwab, you’re empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration—so you can build the skills to make a lasting impact. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.
We offer a competitive benefits package that takes care of the whole you – both today and in the future:
- 401(k) with company match and Employee stock purchase plan
- Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
- Paid parental leave and family building benefits
- Tuition reimbursement
- Health, dental, and vision insurance
Eligible Schwabbies receive
- Medical, dental and vision benefits
- 401(k) and employee stock purchase plans
- Tuition reimbursement to keep developing your career
- Paid parental leave and adoption/family building benefits
- Sabbatical leave available after five years of employment
See all Broker Dealer Jobs
Sign up for free to unlock all listings, filter by visa type, and get alerts for new Broker Dealer roles.
Get Access To All JobsTips for Finding Broker Dealer Jobs
Target broker dealers with established H-1B programs
Large wirehouses and institutional trading firms file H-1B petitions far more consistently than smaller regional dealers. Prioritize firms with a documented history of sponsoring international hires in compliance, trading, or investment banking divisions.
Frame your degree around specialty occupation criteria
USCIS requires a direct relationship between your degree field and the broker dealer role. A finance, economics, or accounting degree strengthens your petition. A general business degree may require supporting documentation showing the role demands specialized knowledge.
Understand the Series licensing timeline
FINRA Series 7 or Series 63 licensing is required post-hire, not before. Employers sponsor your license after you start. Clarify with your hiring manager whether licensing completion affects your H-1B petition timeline or probationary standing.
Register for the H-1B lottery before you have an offer
H-1B registration opens in March for an October start date. If you are job searching in late 2025, aim to secure an offer by February so your employer can register you. Missing the window means waiting a full year for the next cycle.
Ask specifically about cap-exempt employer affiliations
Some broker dealers are affiliated with universities or nonprofits, making them cap-exempt. Cap-exempt employers can file H-1B petitions year-round without lottery entry. Ask your recruiter directly whether the entity filing your petition qualifies for this exemption.
Prepare your LCA and prevailing wage documentation early
Your employer must file a Labor Condition Application with the Department of Labor before submitting your H-1B petition. The LCA certifies your offered wage meets the prevailing rate for broker dealer roles in your work location. Delays here push back your whole timeline.
Frequently Asked Questions
Do broker dealer jobs qualify for H-1B visa sponsorship?
Yes, broker dealer roles typically qualify as H-1B visa specialty occupations because they require at minimum a bachelor's degree in finance, economics, accounting, or a related field. USCIS evaluates whether the specific role demands specialized knowledge rather than general business skills, so the job description matters. Roles focused on compliance, quantitative analysis, or institutional trading tend to have stronger petition outcomes than generalist sales positions.
Which visa types are most common for broker dealer roles?
The H-1B is the primary visa for international broker dealer hires. Australian citizens may qualify for the E-3 visa, which has no lottery and is significantly easier to obtain. Canadian and Mexican nationals can explore the TN visa under the USMCA. O-1B is an option for candidates with exceptional credentials, though the standard in financial services is the H-1B petition filed by the sponsoring firm.
Do I need my FINRA Series 7 license before applying for sponsorship?
No. FINRA licensing is completed after you are hired, not before. Employers sponsor you for the Series 7, Series 63, or other required exams once you have started. However, some firms factor in your ability to pass licensing exams quickly when making hiring decisions, so demonstrating familiarity with securities regulation during your interview can strengthen your candidacy.
How competitive is H-1B sponsorship for broker dealer roles?
Sponsorship availability varies significantly by firm size. Large institutional broker dealers and wirehouses routinely sponsor H-1B petitions and have immigration counsel on retainer. Smaller regional broker dealers may be willing but lack experience with the process, which can cause delays or errors. The H-1B lottery itself has roughly a 25% selection rate, making the March registration window critical. You can browse sponsoring firms in broker dealer roles on Migrate Mate.
What happens to my visa status if my broker dealer employer loses their FINRA registration?
If your employer loses their FINRA registration or ceases operations, your H-1B status is tied to that specific employer and petition. You enter a 60-day grace period to find a new sponsor, file an extension, or change status. Portability rules under AC21 allow you to transfer your H-1B to a new employer in a same or similar role if your petition has been approved for 180 days or more.
What is the prevailing wage requirement for sponsored Broker Dealer jobs?
U.S. employers sponsoring a visa must pay at least the prevailing wage, which is what workers in the same role, area, and experience level typically earn. The Department of Labor sets this rate to make sure companies aren't hiring foreign workers simply because they'd accept lower pay than a U.S. worker. It varies by job title, location, and experience. You can look up current prevailing wage rates for any occupation and location using the OFLC Wage Search page.